Branch Compliance Senior Manager (HYBRID)

About the Role

At Equitable, we help clients secure their financial well-being so they can pursue long and fulfilling lives- a mission we’ve honed since 1859. 

Equitable is looking for a dynamic Branch Compliance Senior Manager to join our Branch Compliance team! Our Greater NY-CT Complex is seeking a highly-motivated Compliance professional with the ability to work independently to join our team. This is a vital role supporting ~700 Financial Advisors that reports up to the branch’s Chief of Controls.  

What You’ll Be Doing

• Provide compliance support to Complex Controls Chief for the Greater New York Complex
• Review and investigate actions that trigger flags in various review systems
• Conduct annual financial advisor compliance interviews/audits, including inspection of business practices and registered location
• Assist in training, education of financial advisors
• Prepare for regulatory and internal audits 

This position offers a hybrid work schedule, with an on–site presence of 2–3 days per week combining flexibility with team collaboration.
 

The base salary range for this position is $102,000 - $120,000. Actual base salaries vary based on skills, experience, and geographical location. In addition to base pay, Equitable provides compensation to reward performance with base salary increases, spot bonuses, and short-term incentive compensation opportunities. Eligibility for these programs depends on level and functional area of responsibility.   

For eligible employees, Equitable provides a full range of benefits. This includes medical, dental, vision, a 401(k) plan, and paid time off. For detailed descriptions of these benefits, please reference the link below.

Equitable Pay and Benefits: Equitable Total Rewards Program 

What You Will Bring

Required Qualifications:

• Bachelors degree OR 10+ years of work experience
• 6+ years of experience working as a compliance professional with experience in supervising Financial Advisor activities
• Experience and knowledge of Insurance, Annuities, Brokerage/Advisory, Alternatives, etc. products
• FINRA Series 7 and 66 OR FINRA 63/65

• FINRA Series 24 registration
  
  Preferred Qualifications:

   

   

• Ability to function independently with proactive decision-making skills
• Successful collaborator with exceptional communication skills
• Proven success in leading, assessing, quantifying, testing and implementing controls to ensure compliance with internal business process rules and external regulations for an organization

Skills

Accuracy and Attention to Detail: Understanding the necessity and value of accuracy; ability to complete tasks with high levels of precision.

Audit and Compliance Function: Knowledge of major responsibilities and tasks of Audit and Compliance (A&C) function; ability to manage the operation of A&C function in various business environment.

Customer Focus: Knowledge of the values and practices that align customer needs and satisfaction as primary considerations in all business decisions and ability to leverage that information in creating customized customer solutions.

Effective Communications: Understanding of effective communication concepts, tools and techniques; ability to effectively transmit, receive, and accurately interpret ideas, information, and needs through the application of appropriate communication behaviors.

Insurance Legal and Regulatory Environment: Knowledge of federal, state and local laws and regulations; ability to comply with these laws and regulations in insurance industry practices and activities.

Regulatory Environment - Financial Services: Knowledge of regulatory environment; ability to help an organization comply with regulations at the federal, state and local level and follow the organization-specific policies and guidelines, affecting business practices.

Securities Laws and Regulations (SLR) Compliance: Knowledge of securities laws and regulations; ability to find out and comply with relevant laws and regulations during business activities.
 

About Equitable

At Equitable, we’re a team committed to helping our clients secure their financial well-being so that they can pursue long and fulfilling lives.

We turn challenges into opportunities by thinking, working, and leading differently – where everyone is a leader. We encourage every employee to leverage their unique talents to become a force for good at Equitable and in their local communities. 

We are continuously investing in our people by offering growth, internal mobility, comprehensive compensation and benefits to support overall well-being, flexibility, and a culture of collaboration and teamwork. 

We are looking for talented, dedicated, purposeful people who want to make an impact. Join Equitable and pursue a career with purpose.  Click Careers at Equitable to learn more.

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Equitable is committed to providing equal employment opportunities to our employees, applicants and candidates based on individual qualifications, without regard to race, color, religion, gender, gender identity and expression, age, national origin, mental or physical disabilities, sexual orientation, veteran status, genetic information or any other class protected by federal, state and local laws. 

NOTE: Equitable participates in the E-Verify program. 

If reasonable accommodation is needed to participate in the job application or interview process or to perform the essential job functions of this position, please contact Human Resources at (212) 314-2211 or email us at TalentAcquisition@equitable.com.